Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Duka Beats Fraud Charge in SEC Administrative Court

Litigation Barbara Duka was an employee of Standard & Poor’s Ratings Services. The SEC contended that Duka loosened S&P’s methodology for rating commercial mortgage-backed securities to help the company generate ratings business from issuers. S&P had settled allegations against it in a separate matter. The SEC brought charges against Duka in the SEC’s administrative court.  Duka […] Read more →

by   |   August 31, 2017

NYSE Proposes to Amend Material News Policy Again

Public Companies and Securities In 2015 the NYSE amended its policy with respect to material news releases. One of the amendments was to include advisory text in Section 202.06 of the Listed Companies Manual... Read more →

by   |   August 30, 2017

Preliminary Planning for the 2018 Proxy Season

Public Companies and Securities For those who want to start preparing for the 2018 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officers’ Questionnaires... Read more →

by , , and   |   August 29, 2017

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SEC Inspector General Concludes Acting Chairman Piwowar’s Actions Were Lawful

Public Companies and Securities In an investigation conducted at the request of four Senators, the SEC Inspector General concluded “we do not find that Commissioner Piwowar’s actions as Acting Chairman... Read more →

by   |   August 25, 2017